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OMB APPROVAL
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OMB NUMBER 3235-0175
EXPIRES: NOVEMBER 30, 1995
ESTIMATED AVERAGE BURDEN
HOURS PER RESPONSE . .1.00
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-8A
NOTIFICATION OF REGISTRATION
FILED PURSUANT TO SECTION 8(a) OF THE
INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it registers under and pursuant to the provisions of
Section 8(a) of the Investment Company Act of 1940 and in connection with such
notification of registration submits the following information:
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Name: Sirrom Funding Corporation
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Address of Principal Business Office (No. & Street, City, State, Zip Code):
500 Church Street, Suite 200, Nashville, TN 37219
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Telephone Number (including area code): 615/244-1657
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Name and address of agent for service of process:
The Corporation Trust Company
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1209 Orange Street, Wilmington, DE 19801
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Check Appropriate Box:
Registrant is filing a Registration Statement pursuant to Section 8(b)
of the Investment Company Act of 1940 concurrently with the filing of
Form N-8A: Yes [ ] No [x]
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ITEM 1. EXACT NAME OF REGISTRANT.
Sirrom Funding Corporation ("SFC")
ITEM 2. NAME OF STATE UNDER THE LAWS OF WHICH REGISTRANT WAS ORGANIZED OR
CREATED AND THE DATE OF SUCH ORGANIZATION OR CREATION.
SFC was organized under the laws of the State of Delaware on December
17, 1996.
ITEM 3. FORM OF ORGANIZATION OF REGISTRANT (FOR EXAMPLE, CORPORATION,
PARTNERSHIP, TRUST, JOINT STOCK COMPANY, ASSOCIATION, FUND).
SFC is organized as a corporation.
ITEM 4. CLASSIFICATION OF REGISTRANT (FACE-AMOUNT CERTIFICATE COMPANY, UNIT
INVESTMENT TRUST, OR MANAGEMENT COMPANY).
SFC is a management company.
ITEM 5. IF REGISTRANT IS A MANAGEMENT COMPANY:
(a) STATE WHETHER REGISTRANT IS A "CLOSED-END" COMPANY OR AN
"OPEN-END" COMPANY;
SFC is a "closed-end" investment company.
(b) STATE WHETHER REGISTRANT IS REGISTERING AS A "DIVERSIFIED"
COMPANY OR A "NON-DIVERSIFIED" COMPANY (READ INSTRUCTION 4(I)
CAREFULLY BEFORE REPLYING).
SFC is a "non-diversified" investment company.
ITEM 6. NAME AND ADDRESS OF EACH INVESTMENT ADVISER OF REGISTRANT.
None.
ITEM 7. IF REGISTRANT IS AN INVESTMENT COMPANY HAVING A BOARD OF DIRECTORS,
STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF REGISTRANT.
The names and addresses of the officers of SFC are as follows:
<TABLE>
<CAPTION>
Officers: Addresses:
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<S> <C>
George M. Miller, II, 500 Church Street, Suite 200
President and Chief Executive Officer Nashville, TN 37219
David Resha, 500 Church Street, Suite 200
Chief Operating Officer Nashville, TN 37219
Carl W. Stratton, 500 Church Street, Suite 200
Chief Financial Officer Nashville, TN 37219
Kim Stringfield, 500 Church Street, Suite 200
Controller and Treasurer Nashville, TN 37219
Maria-Lisa Caldwell, 500 Church Street, Suite 200
Secretary Nashville, TN 37219
</TABLE>
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<TABLE>
<CAPTION>
Officers: Addresses:
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<S> <C>
Jennifer Waugh, 500 Church Street, Suite 200
Assistant Secretary Nashville, TN 37219
</TABLE>
The names and addresses of the directors are as follows:
<TABLE>
<CAPTION>
Directors: Addresses:
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<S> <C>
John A. Morris, Jr., M.D. 243 Medical Center South
2100 Pierce Avenue
Nashville, TN 37212
George M. Miller, II 500 Church Street, Suite 200
Nashville, TN 37219
Raymond Pirtle 900 Nashville City Center
Nashville, TN 37219
L. Edward Wilson 500 Church Street, Suite 200
Nashville, TN 37219
Edward J. Mathias 1001 Pennsylvania Avenue, NW
Suite 220 S
Washington, D.C. 20004
E. Townes Duncan 5123 Virginia Way
Unit C-22
Brentwood, TN 37027
William D. Eberle 13 Garland Road
Concord, MA 01742
Robert D. McCabe, Jr. 315 Deadrick Street, Suite 600
Nashville, TN 37238
John Lesser 700 David White's Lane
Southampton, NY 11968
Richard Robertson Two Maryland Farms, Suite 200
Brentwood, TN 37027
</TABLE>
ITEM 8. IF REGISTRANT IS AN UNINCORPORATED INVESTMENT COMPANY NOT HAVING A
BOARD OF DIRECTORS: Not applicable.
(a) STATE THE NAME AND ADDRESS OF EACH SPONSOR OF REGISTRANT;
(b) STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF
EACH SPONSOR OF REGISTRANT;
(c) STATE THE NAME AND ADDRESS OF EACH TRUSTEE AND EACH CUSTODIAN
OF REGISTRANT.
ITEM 9.
(a) STATE WHETHER REGISTRANT IS CURRENTLY ISSUING AND OFFERING ITS
SECURITIES DIRECTLY TO THE PUBLIC
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(YES OR NO);
No, SFC is not issuing or offering securities to the public.
(b) IF REGISTRANT IS CURRENTLY ISSUING AND OFFERING ITS SECURITIES
TO THE PUBLIC THROUGH AN UNDERWRITER, STATE THE NAME AND
ADDRESS OF SUCH UNDERWRITER;
Not applicable.
(c) IF THE ANSWER TO ITEM 9(A) IS "NO" AND THE ANSWER TO ITEM 9(B)
IS "NOT APPLICABLE," STATE WHETHER REGISTRANT PRESENTLY
PROPOSES TO MAKE A PUBLIC OFFERING OF ITS SECURITIES (YES OR
NO);
No, SFC does not presently propose to make a public offering.
(d) STATE WHETHER REGISTRANT HAS ANY SECURITIES CURRENTLY ISSUED
AND OUTSTANDING (YES OR NO);
Yes, SFC has 1,000 shares of common stock issued and
outstanding.
(e) IF THE ANSWER TO ITEM 9(D) IS "YES,") STATE AS OF A DATE NOT
TO EXCEED TEN DAYS PRIOR TO THE FILING OF THIS NOTIFICATION OF
REGISTRATION THE NUMBER OF BENEFICIAL OWNERS OF REGISTRANT'S
OUTSTANDING SECURITIES (OTHER THAN SHORT-TERM PAPER) AND THE
NAME OF ANY COMPANY OWNING 10 PERCENT OR MORE OF REGISTRANT'S
OUTSTANDING VOTING SECURITIES.
Sirrom Capital Corporation owns 100% of the outstanding
capital stock of SFC.
ITEM 10. STATE OF CURRENT VALUE OF REGISTRANT'S TOTAL ASSETS.
The current value of SFC's total assets is $25,300,000.
ITEM 11. STATE WHETHER REGISTRANT HAS APPLIED OR INTENDS TO APPLY FOR A
LICENSE TO OPERATE AS A SMALL BUSINESS INVESTMENT COMPANY UNDER THE SMALL
BUSINESS INVESTMENT ACT OF 1958 (YES OR NO).
No, SFC will not apply for an SBIC license.
ITEM 12. ATTACHED AS AN EXHIBIT A COPY OF THE REGISTRANT'S LAST REGULAR
PERIODIC REPORT TO ITS SECURITYHOLDERS, IF ANY.
None.
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SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940,
the registrant has caused this notification of registration to be duly signed
on its behalf of the city of Nashville and the State of Tennessee on the 31st
day of December, 1996.
SIRROM FUNDING CORPORATION
Signature /s/ George M. Miller, II
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By: George M. Miller, II, President
ATTEST:
By: /s/ Maria-Lisa Caldwell
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Title: Secretary
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